Santiago v. Municipality of Utuado
Santiago v. Municipality of Utuado
Opinion
United States Court of Appeals For the First Circuit
No. 22-1284
XIOMARA SANTIAGO,
Plaintiff, Appellant,
v.
MUNICIPALITY OF UTUADO,
Defendant, Appellee.
APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF PUERTO RICO
[Hon. Jay A. García-Gregory, U.S. District Judge]
Before
Montecalvo, Lipez, and Thompson, Circuit Judges.
Kenneth Colón, with whom Juan M. Frontera-Suau and Frontera Suau Law Offices, PSC were on brief, for appellant.
Eliezer A. Aldarondo-López, with whom Aldarondo & López-Bras, LLC was on brief, for appellee.
August 22, 2024 THOMPSON, Circuit Judge. The Puerto Rico Municipality
of Utuado hired Xiomara Santiago to be the Deputy Director for the
local Head Start/Early Head Start Program (hereinafter "Head
Start" or "the Program"). Not long after her hire, a mayoral
election changed the town's administration and the new chief exec
terminated Santiago's employment. Claiming her dismissal violated
her Fourteenth Amendment due process rights and was the result of
political discrimination in violation of her First Amendment
rights, Santiago sued the Municipality and sought a preliminary
injunction to get her job back. After the district court held a
series of hearings on Santiago's motion -- four days of testimony
between May 17 and July 2, 2021 from three witnesses -- it
ultimately denied her request, concluding she had not shown a
likelihood of success on the merits of either claim.1 Santiago
now appeals the district court's decision, contending its
conclusion was an abuse of discretion. For the reasons set forth
herein, we affirm.
Background
With the basic scene in place, we now turn to the record
details that are relevant to the claims and arguments at issue on
appeal, pulling out facts from the testimonies provided by
1A magistrate judge presided over the hearings and issued a Report & Recommendation which the district judge ultimately adopted in its entirety over Santiago's objection.
- 2 - Santiago, the new mayor of Utuado, and Head Start's Human Resources
Director, and also from the documents received into evidence during
the hearings. We present the details in chronological order to
best summarize the sequence of events leading up to Santiago's
termination and this litigation which followed. Our chronological
approach means we shift perspectives between witnesses and
documentary evidence a few times. Where certain details aren't
needed to paint the backdrop prior to delving into the merits of
Santiago's claims, we hold those parts of the backstory until our
discussion of the relevant argument when the additional context
will be helpful. We kick things off with some information about
Santiago herself and her start as Head Start's Deputy Director.
Plaintiff Xiomara Santiago holds a bachelor's degree in
Pre-School Education but worked as the Director of Landscaping and
Recycling for the Municipality of Utuado for five years from 2013
until 2018. She next transitioned into the early education field
teaching pre-school for a private company called Urban Strategies
in the Municipality of Ponce. Following her teaching stint, in
March 2020 Santiago successfully applied for the position of Deputy
Director at Head Start for the Municipality of Utuado.
The posting for that position included the following
minimum requirements and application details: (1) a bachelor's
degree in Business Administration or Education; (2) three years of
Head Start experience; (3) one year in a similar management
- 3 - position; and (4) English language proficiency (including
speaking, reading, and writing). To apply, the posting instructed
candidates to submit a college credit transcript, a diploma, a
certificate of Good Conduct and/or Criminal Record, and a document
certifying compliance with filing tax returns for the prior four
years. The posting also clearly stated that "[t]he candidate must
meet the minimum requirements before the closing date and provide
evidence of [all] documents stipulated in the vacancy
announcement[]" and that "incomplete applications . . . or
applications submitted after the closing date" would not be
considered.
Blas Rosado, head of Human Resources at Head Start,
received Santiago's application and forwarded the materials to the
Program's Parents Committee (officially known as the Guideline
Policy Council -- a body comprised of two parents from each Head
Start center within the region who are elected by the parents of
children enrolled in the Program). A subcommittee evaluated all
of the applications and decided whether each candidate met the
requirements from the posted job description. At the preliminary
injunction hearing, Rosado testified that Santiago's application
was complete and that she "fulfill[ed] the required academic
preparation and experience," noting her six years of management
experience "directing and supervising personnel" as well as her
experience as a Head Start teacher when she worked at Urban
- 4 - Strategies. Rosado also testified that the Parents Committee had
agreed she met all the requirements for the position, interviewed
two candidates, and chosen Santiago to advance to the then-mayor
for his okay.
When the Municipality hired Santiago in August 2020 to
be Head Start's Deputy Director, the mayor was Ernesto Irizarry
Salvá, a member of the Popular Democratic Party ("PDP").
Santiago's first months on the job coincided with Utuado's
municipal elections. She demonstrated her interest in the election
process by working as (what she called) a "coordinator for a school
for the [PDP]." In this municipal election cycle, Santiago's
lifelong friend Jorge Pérez Heredia, a member of the New
Progressive Party ("NPP"), ran against Irizarry. One day before
the mid-August primary elections, Santiago received a campaign
text message from Pérez -- a text message pushed out to all the
contacts in his phone. The text included a photo of a sample
ballot with his name checked and a message stating, "I will count
on you tomorrow." Santiago says she ignored this message.
In late October, Pérez sent a text message just to
Santiago which said: "Greetings friend, I only ask you to do
things right, friend." Pérez explained at the preliminary
injunction hearing that he sent the message after trying
unsuccessfully to reach Santiago by phone. When Santiago received
the text, she called Pérez, who, according to Pérez, told her he
- 5 - had filed a complaint with the Puerto Rico Police against Rosado
(the Head Start Human Resources director and a leader of the PDP
with Mayor Irizarry), alleging Rosado had engaged in election fraud
by impersonating a NPP official to get mail-in ballots. Pérez
said he did not want to file a complaint against her as well.
According to Pérez, he implored her to "do things right so she
wouldn't get mixed up in those messes," seemingly implying that he
thought she too had engaged in similar election irregularities.
According to Pérez, he was "warning her because she was [his]
friend and [he] didn't want her to be affected." He "wanted her
to do the correct thing and not do the same thing." Santiago, for
her part, testified Pérez "told [her] that there was a list
containing [her] name; that [she] was going to be investigated by
the feds for electoral fraud." Santiago testified that Pérez was
very upset; the tone of his voice hostile as he told her that he
had the list of people being investigated and she was on it. She
felt threatened by the call even though she knew the fraud
accusation was false. After that call, she continued her political
work with the PDP. When the November 3, 2020 election day rolled
around, Pérez defeated Irizarry to become Utuado's new mayor.
Santiago says she never heard anything else about a fraud
investigation after that, and she continued with her Head Start
work.
- 6 - Between election day and January 11, 2021 (when Pérez
got sworn in as mayor), Mayor Irizarry, as allowed by Puerto Rico
law, sought and received permission from the Director of Human
Resources for the Government of Puerto Rico to renew employment
contracts for over 200 Head Start employees whose transitory
services contracts were set to expire on December 30.2
A quick aside to explain Head Start's governance
structure will be useful to an understanding of Santiago's eventual
employment termination. As described during the hearing, Head
Start programs are operated through grants given by the federal
government to a "regulatory concessionaire" or grantee, such as
the Municipality of Utuado. Utuado is the concessionaire for Head
Start in the Municipalities of Utuado, Jayuya, and Adjuntas.
Utuado's management of the Program is "highly regulated" by the
federal government, with the Program's operations overseen by a
2 The timing for these contract renewals fell within the period blacked out by the Puerto Rico Municipal Code for employment appointments, promotions, transfers, demerits, re- classifications, and salary changes. By law, this period starts two months prior to the general election date and ends on the second Monday of the January following the election. See Rodriguez-Marin v. Rivera-Gonzalez,
438 F.3d 72, 75(1st Cir. 2006) ("In an effort to combat political discrimination, Puerto Rico has an Electoral Moratorium that prohibits certain 'appointments, promotions, demotions, transfers and changes in the category of the employees' for the two months before and after a general election." (quoting
P.R. Laws Ann. tit. 3, § 1337)). Exemptions exist for programs like Head Start that operate on a January 1 - December 31 fiscal year and where the employees' contracts need to be renewed so the services can continue to be provided to the community.
- 7 - regional managing office in New York. Locally, the Program is
governed by a Board of Directors (or Governing Board, as the
witnesses who testified sometimes called it), a five-person body
headed up by the Mayor of Utuado and populated with four other
members, all of whom are to be current municipal legislators. The
Governing Board is responsible for formal appointments and
personnel changes to the top layers of the Program's
administrations (such as the Director, Deputy Director, Fiscal
Specialist, and Program Specialist) and the Parents Committee
managed the administrative and programmatic parts of the Program
(while being kept in the loop when the Governing Board made changes
to the top Head Start leaders).
The federal grant funds for the Program are budgeted
from January 1 through December 31 of each year. Santiago's
employment -- as well as that of all her colleagues -- was subject
to renewal each year because the regional office approved the Head
Start budget for one-year periods only. Santiago's 2021 employment
contract (which Irizarry had renewed prior to his departure)
included several terms and conditions for her re-appointment to
the Deputy Director position.3 As relevant to this case, one
condition of employment was that she met the minimum requirements
3 The record does not include Santiago's initial employment contract which, presumably, covered the period from her start date in August 2020 through December 31, 2020.
- 8 - of the position. An attachment to the contract spelled out the
Deputy Director's duties and responsibilities which, among other
things, included: assisting the Director to plan, direct,
coordinate, supervise, and evaluate the Program's work and
performance; conducting staff orientation meetings; preparing
reports; helping to draft the annual budget; making presentations
to parents, staff, the governing body, and community groups; and
maintaining relationships with schools, agencies, and community
partners. The renewal contract also listed circumstances under
which the Municipality could terminate her employment, including
if she received "a deficient performance evaluation . . . during
the term of the contract," was "unable to perform the tasks for
which she was hired," budget changes, restructuring or
reorganization of the "offices, centers and/or areas," or "any
other extraordinary situation warranting the termination of th[e]
[c]ontract."
Turning again to Pérez. He took his oath of office on
January 11, 2021, and his first month proved somewhat chaotic on
the Head Start front after he learned that the Municipality's
program was in trouble with the managing office in New York. The
Program's problems included drastically lower student enrollment
-- post Hurricane Maria 356 children enrolled versus the 740
children that the program had represented to the managing office.
Also problematic and not reported to the New York office was the
- 9 - closure of several locations for repairs though staff members in
those shuttered facilities were retained on the payroll. The new
mayor also discovered the Program's noncompliance with the grants'
reporting requirements, including financial management of the
grants, all of which sent Pérez scrambling to find and provide
documentation which ultimately saved $5,000,000 in funding from
one grant but resulted in the loss of $12,000,000 from another
grant. During this time, Pérez wrote a letter to the Director of
Head Start, Christian Quiñones-Figueroa, about the problems he had
unearthed. Quiñones-Figueroa quickly responded, first, briefly
addressing the content of the mayor's letter, then announcing that
he would be on sick leave "for several days" after experiencing a
medical emergency, and finally, indicating Santiago would serve as
Acting Director until his return.4 A few days after this exchange,
Mayor Pérez circulated a memo to the Head Start "supervisors" and
"coordinators" announcing Santiago would be serving as Acting
Director until Quiñones-Figueroa could return to work.
In addition to appointing Santiago to Acting Director
(whose authority, at least on paper, expanded to signing all
4 Pérez's letter to Quiñones-Figueroa is not a part of the record but Quiñones-Figueroa's response to Mayor Pérez provides sufficient textual cues for the court to infer that Quiñones- Figueroa's response was, in part, a reaction to the Mayor's letter in which the Mayor had directed Quiñones-Figueroa to cease all repair projects to Head Start facilities and required all staff to return to working in person.
- 10 - documents, including purchase orders, requisitions, and human
resources-related documents) Pérez decided to bring in Manual
Mena, a close friend he'd known for 30 years to whom he refers as
his "second father," as a volunteer with "experience and
knowledge"5 to serve as Pérez's "aide" as Pérez navigated the
issues between Head Start and the managing office in New York. In
a letter to Mena with a cc to the New York office, Pérez wrote
that he was assigning Mena as "In-Charge for the [Head Start] and
[Early Head Start] Program[s] for the Municipality of Utuado,
effective immediately as to provide continuity for Program
processes and compliance with Federal Regu[l]ations." According
to Santiago, she did not benefit from Mena's presence. As she
tells it, during Mena's first weeks at the Program, he met with
her co-workers several times without inviting her, which made her
feel "pushed aside" and like she did not "have a voice or a vote
at work. . . . They took away all my [work] functions. . . . [I]n
fact, they put a deputy, an interim deputy director, and interim
director above me."
One day in late January or early February (none of the
witnesses could remember the precise date), Pérez held a three-
hour meeting with a dozen or so Head Start managers and
coordinators from various departments to figure out how to resolve
The record does not, however, explain what experience or 5
knowledge Mena brought to the table.
- 11 - the financial reporting issues with the managing office before the
February 28 deadline the New York office had imposed. Throughout
the meeting, Pérez asked Santiago many general questions about the
status of approximately twenty projects, as well as about proposals
and budgets, but she was unable to answer any of the questions.
That was so, Santiago says, because Quiñones-Figueroa "was out on
sick leave and those questions that I could not answer because at
the time I did not have the information." During this meeting
Pérez also learned that Santiago did not have access to the three
electronic databases with information and data about the projects
about which he was inquiring, and Santiago could not tell him why
Quiñones-Figueroa had allowed some staff to work from home and
collect their pay while other staff members were not allowed to
work remotely. Nor could she shed any light on a new employee
supposedly hired on December 31 to fill a fiscal position.
At some point after this meeting, Pérez showed up at
Santiago's office alone. Santiago reported he seemed upset and
was looking for Rosado's office. Admittedly nervous, Santiago
tearfully told him she thought Mena was "going to get [Pérez] into
a lot of trouble" and that she "was already feeling very bad
already because . . . [t]hey were pushing [her] aside and they
were doing things behind [her] back." She reported that Pérez
"remained silent" and "didn't do anything" before leaving her
office for Rosado's.
- 12 - Santiago's termination followed shortly thereafter.
According to Pérez, Santiago's inability to answer any of the
questions he asked at the staff meeting "showed [him] that [she]
lacked any knowledge of the essentials [of] Head Start's
administrative operations or was obstructing the new
administration efforts to obtain the status and continue with a
healthy operation." Rosado testified that the decision to
terminate one of the top positions at Head Start, including the
Deputy Director, had to be approved by the Program's Governing
Board and that the Parents Committee had to be notified. At a
monthly Board of Directors meeting held on February 11, Pérez
discussed his concerns about Head Start and asked the Board to
terminate Santiago. According to Pérez, he had only decided the
morning of the meeting to ask the Board to take this personnel
action. In his hearing testimony, he told the district court that
he decided to terminate Santiago's contract for several reasons:
(1) because, when probed, she did not have a plan to face Head
Start's current crisis of enrollment and problems with financial
reporting; (2) she lacked the experience or knowledge to fulfill
the responsibilities of her role; (3) her position as Deputy
Director was not needed given the impact of COVID-19 on the demand
for services and he was working out how many staff employees the
Program would ultimately need to dismiss given the significant
drop in enrollment; and (4) she was not proficient in English when
- 13 - this had been one of the minimum requirements for the position and
she had attested in her job application that she spoke or wrote in
English.6 In Pérez's eyes, this lack of language proficiency, in
particular, resulted in the mis-entering of program data and the
subsequent jeopardy and loss of Head Start grant funds. In a radio
interview Pérez gave for a local radio station in early March,
amidst a discussion of the problems at Head Start he had inherited
when he took office, he stated that Santiago had been hired without
proper qualifications at a time when the Program couldn't justify
hiring a Deputy Director under the governing regulations due to
flagging enrollment.
After the February 11 Board meeting but prior to Santiago
receiving word that she was to be dismissed from her position,
Mena wrote a memo to all staff announcing that another Head Start
employee now had the exclusive authority to sign all reports,
documents, certifications, etc., effectively removing Santiago's
authority to sign documents as Acting Director on Quiñones-
Figueroa's behalf while he was on leave.
On February 26, Santiago received notice of her
termination via a letter hand delivered to her by the
Municipality's Human Resources Director. The letter stated that
"[t]he Governing Board, at a meeting held on February 11th of 2021
6 When Santiago testified at the hearing she said she could speak some English, with help.
- 14 - and upon my request as Mayor and President of [the Governing]
Board, unanimously removed and dismissed (you as) Deputy Director
of the Head Start Program, effective Friday, March 5th of 2021."
In the week following her termination, several big
changes occurred at Utuado's Head Start Program. For one,
Quiñones-Figueroa resigned as Director. For another, between the
first day of the preliminary injunction hearing (May 17) and the
second day (June 9), Pérez dismissed 31 additional employees, most
of whom had been appointed by the former mayor. While the
Municipality eventually hired a new Director and a Fiscal
Specialist, it did not hire another Deputy Director, effectively
eliminating the position.
In March 2021, Santiago initiated this litigation by
filing her verified complaint against the Municipality of Utuado,
alleging political discrimination and due process claims as well
as violations of several commonwealth laws. In her motion for
preliminary injunction, she requested the court order the
Municipality to reinstate her to Deputy Director and to enjoin it
from further violating her rights.7
7 Santiago's motion for preliminary injunction focused primarily on her federal constitutional claims; her claim of rights violations pursuant to the laws and Constitution of the Commonwealth of Puerto Rico were not separately argued as a basis for the injunctive relief she sought, and the district court focused exclusively on the federal constitutional claims.
- 15 - Soon after the conclusion of the fourth and final day of
testimony, the magistrate judge to whom this case had been referred
issued a Report & Recommendation ("R&R") concluding that Santiago
had not shown a likelihood of success on the merits on either of
her constitutional claims and recommending that the district court
deny her motion for preliminary injunction. Santiago objected to
the R&R, contending the magistrate judge failed to address certain
facts and placed the wrong emphasis on others, leading to the wrong
conclusion about Santiago's likelihood of success on her claims.
The district court adopted the R&R in its entirety and denied the
motion, briefly noting that, in her objection, Santiago had simply
rehashed the same arguments that she had put forth in her motion.
This court has jurisdiction over Santiago's
interlocutory appeal pursuant to
28 U.S.C. § 1292(a)(1).
Discussion
Standard of Review and Preliminary Injunction Standard
This court reviews the district court's denial of a
motion for preliminary injunction for abuse of discretion. Ocean
State Tactical, LLC v. Rhode Island,
95 F.4th 38, 42(1st Cir.
2024); see also Penalbert-Rosa v. Fortuno-Burset,
631 F.3d 592, 597(1st Cir. 2011) (acknowledging the abuse-of-discretion
standard of review for denial of requested injunctive relief in a
political discrimination claim but deferring to discussion of Rule
12(b)(6) motion to dismiss). Using this deferential standard,
- 16 - "[w]e review the district court's factual findings for clear error
and its legal conclusions de novo." Ocean State Tactical, LLC,
95 F.4th at 42-43(alteration in original) (internal quotation marks
omitted) (quoting Together Emps. v. Mass Gen. Brigham Inc.,
32 F.4th 82, 85(1st Cir. 2022)). We must conclude an abuse of
discretion occurred when a district court "base[s] its ruling on
an erroneous view of the law or on a clearly erroneous assessment
of the evidence." Joseph v. Lincare, Inc.,
989 F.3d 147, 155(1st
Cir. 2021) (quoting Highmark Inc. v. Allcare Health Mgmt. Sys.,
Inc.,
572 U.S. 559, 563 n.2 (2014)).
When a party seeks a preliminary injunction, the
district court considers four long-established elements: (1) "the
probability of the movant's success on the merits" of their
claim(s); (2) "the prospect of irreparable harm absent the
injunction"; (3) "the balance of the relevant equities (focusing
upon the hardship to the movant if an injunction does not issue as
contrasted with the hardship to the nonmovant if it does)"; and
(4) "the effect of the court's action on the public interest."
Rosario-Urdaz v. Rivera-Hernandez,
350 F.3d 219, 221(1st Cir.
2003); see Me. Forest Prods. Council v. Cormier,
51 F.4th 1, 5(1st Cir. 2022). The movant's likelihood of success on the merits
is the element that "weighs most heavily in the preliminary
injunction calculus," Cormier,
51 F.4th at 5(quoting Ryan v. U.S.
Immigr. & Customs Enf't,
974 F.3d 9, 18 (1st Cir. 2020)).
- 17 - Fourteenth Amendment Due Process Claim
The district court concluded Santiago was not likely to
succeed on the merits of her due process claim because her initial
hire to Head Start was contrary to Puerto Rico law and, as a
result, she did not have the requisite property interest in her
employment. Santiago puts forth only one argument challenging
this conclusion: She says the district court applied the wrong
Puerto Rico law when it drew this conclusion and that the correct
law would have yielded a different conclusion. As we explain
below, however, her argument is waived. To make our holding clear,
it will be helpful to start with the broad principles for such a
due process claim in the employment context and describe the
district court's reasoning behind its conclusion.
The Fifth and Fourteenth Amendments to the United States
Constitution prohibit the deprivation of property by the federal
or state government without due process of law. U.S. Const. amend.
V, amend. XIV. In the workplace arena, "[t]he Constitution affords
procedural due process protections to government employees who
possess a property interest in continued public employment,"
Casiano-Montañez v. State Ins. Fund Corp.,
707 F.3d 124, 129(1st
Cir. 2013) (citing Cleveland Bd. of Educ. v. Loudermill,
470 U.S. 532, 541(1985)), meaning that, "[u]nder the Fourteenth Amendment,
a public employee who possesses a property interest in continued
employment cannot be discharged without due process of law,"
- 18 - Gonzalez-De Blasini v. Fam. Dep't,
377 F.3d 81, 86(1st Cir. 2004).
A due process claim will fail, however, if the plaintiff cannot
first establish they have a protected property interest in the
employment position in question. García-González v. Puig-Morales,
761 F.3d 81, 88(1st Cir. 2014). "Property interests are creatures
of state law, and under the laws of Puerto Rico, public employees
who lawfully hold career positions have a protected property
interest in continued employment in those positions." Casiano-
Montañez,
707 F.3d at 129(citing Costa-Urena v. Segarra,
590 F.3d 18, 27(1st Cir. 2009)). That said, "[e]mployees whose hiring
contravene[s] Commonwealth laws and regulations . . . are not
vested with a property interest in their career positions."
Id.(citing Costa-Urena,
590 F.3d at 27). "'Their career appointments
are null and void ab initio' and no due process protections
attach."
Id.(cleaned up) (quoting Kauffman v. P.R. Tel. Co.,
841 F.2d 1169, 1173(1st Cir. 1988)). This court has also acknowledged
that transitory employees working pursuant to a contract with a
specific term of employment have a property interest in their
employment during the term of the contract but not beyond the
expiration of the fixed term of the contract.8 See Borges Colón
8 We have previously explained the distinctions between types of municipal employee classifications as follows: "(1) regular employees, occupying permanent or career municipal positions, (2) transitory employees, appointed without the usual personnel screening procedures (e.g., postings and competitive examinations), but subject to periodic renewals at the expiration
- 19 - v. Román-Abreu,
438 F.3d 1, 10–11, 18 (1st Cir. 2006); Nieves-
Villanueva v. Soto-Rivera,
133 F.3d 92, 94(1st Cir. 1997);
Acevedo-Diaz v. Aponte,
1 F.3d 62, 65 n.1 (1st Cir. 1993). For
these types of employees, "[s]tate statutory law is [but one]
source of 'property' interests in employment. For procedural due
process purposes, it is well settled that an employee's 'property
right' in her job may be established by contract." See Rivera-
Flores v. P.R. Tel. Co.,
64 F.3d 742, 750 & n.7 (1st Cir. 1995)
(citation omitted). Both the district court and the parties
proceeded as if Santiago, as a transitory employee, had a property
interest in her position.
Even so, the district court concluded Santiago had not
demonstrated a likelihood of success on the merits of her due
process claim because it determined she should never have been
appointed to the Deputy Director position in the first place. The
district court concluded Santiago's appointment to the Deputy
Director position had been contrary to the merit principle
reflected in Puerto Rico Law No. 107-2020 applicable to hiring
of their fixed terms, and (3) contractual workers, hired for fixed terms under federally funded programs (e.g., HUD) administered by the City." Acevedo-Diaz v. Aponte,
1 F.3d 62, 65 n.1 (1st Cir. 1993) (internal quotation marks omitted). The Municipality hired Santiago after she applied for a job that had been posted and her employment contract for the federally funded Head Start program is titled "Transitory Services Contract," indicating that the line between transitory and contract employees may in fact be perforated, with some employees falling into both categories at the same time.
- 20 - (more on this law in a moment) because she had not met the minimum
requirements for the Deputy Director position. As the district
court reasoned, on the March 2020 closing day for applications to
the position, Santiago submitted only a partially completed
application -- demonstrated by the July 2020 date reflected on two
of the required documents for a complete application listed on the
job posting (the "[c]ertificate of [g]ood [c]onduct and/or
[c]riminal [r]ecord" and "[c]ompliance with the applicable
provisions of the Income Tax Act, as amended, regarding the filing
of tax returns for the four (4) years prior to the application").
The district court also explained that Santiago's apparent lack of
knowledge about some "fundamental operational topics . . . .
bolster[ed] the Municipality's contention that [she] was not
qualified to hold the position" and therefore could not have the
requisite property interest in her employment contract to win a
due process claim.
On appeal, Santiago insists she did have a property
interest in her employment, one created by the renewed transitory
contract, and the Municipality deprived her of this interest when
it summarily terminated her employment two months into the
contract's term. In her objection to the R&R, Santiago challenged
the magistrate judge's conclusion regarding the incomplete
application but she does not press that same argument on appeal.
Instead, she debuts an argument that the district court applied an
- 21 - incorrect Puerto Rico law when it concluded that her initial
appointment as Deputy Director was unlawful because, according to
her, the law on which the district court relied (Law No. 107-2020)
did not come into effect until a few weeks after her initial
appointment. The district court should instead, says Santiago,
have applied federal regulations governing Head Start and Act 81
(a law which was either partially or completely repealed when Law
No. 107-2020 went into effect). Santiago contends she met the
minimum requirements for the Deputy Director position when she was
initially hired and that her appointment complied with Puerto Rico
law, including its "merit principle," as well as with the Head
Start regulations.9 And because she has a cognizable property
9 A quick word about each of these laws and the "merit principle." The district court, citing Law No. 107-2020, stated that "the human resources recruitment system of municipalities is governed by the merit principle so as to promote excellence in public service based on equity, justice, efficiency, productivity, and without discrimination on the basis of, among others, political ideals." See Article 2.042 of the Puerto Rico Municipal code, Puerto Rico Law Number 107-2020, as amended, 21 P.R. Laws Ann. §§ 7001 et seq. ("Law No. 107-2020") and specifically 21 P.R. Laws Ann. § 7231.
Act 81 (from the Autonomous Municipalities Act of 1991) provided in part that
[t]he municipal public service shall be governed by the merit principle to ensure that those who serve the Municipal Government are the fittest. The Municipal Personnel service shall ensure that all career employees of the municipality shall be selected, trained, promoted, retained and treated with consideration of their merits and capability with regard to their employment, without any discrimination for race, color,
- 22 - interest in her transitory employment contract for the duration of
its tenure, Santiago leans on her contention that she was afforded
no due process rights adjacent to her termination, i.e., she was
given no specific reason for her dismissal nor any opportunity to
contest it. As a result, she says, the district court's conclusion
that she had no likelihood of success on the merits of her due
process claim was an "abuse[ of] its discretion."
A threshold obstacle stands in the way of Santiago's
argument. As we noted and as the Municipality correctly counters
in its brief, Santiago is raising this wrong-law-applied argument
for the first time on appeal. She did not contradict the
Municipality's assertion, say for instance, by filing a reply brief
to protest this lack of preservation asseveration. And our review
of the record reveals she did not mention -- in either her written
sex, birth, age, social origin or condition, nor political or religious beliefs.
1991 Laws of Puerto Rico 570-71. Act 81 defined the merit principle as the "concept on which basis all public employees shall be selected, promoted, retained and treated in all matters concerning their employment based upon their capability and without discrimination." Aponte-Ramos v. Álvarez-Rubio,
783 F.3d 905, 907(1st Cir. 2015) (quoting P.R. Laws Ann. § 1461(42)).
According to the Municipality's briefing, "[o]n August 13, 2020, the Puerto Rico Legislature abrogated the Law of Autonomous Municipalities by way of the Municipal Code, 21 P.R. Laws Ann. § 7001, et seq." The Municipality also states that, "[l]ike the Autonomous Municipalities Act, the more recent statute now governs the organization, administration and operation of Puerto Rico municipalities. A significant amount of the provisions in the old statute remained unchanged."
- 23 - or oral arguments to the district court -- Act 81 or the federal
regulations governing Head Start, even though the Municipality
discussed the asserted applicability of Law No. 107-2020
throughout its written opposition to the motion for preliminary
injunction. Nor did she object to the R&R on this basis to the
district judge. As a result, we deem the argument waived. See
Marcano-Martínez v. Cooperativa de Seguros Múltiples de P.R.,
991 F.3d 336, 339(1st Cir. 2021) ("Delay in raising arguments wastes
time and money; absent unusual circumstances, arguments raised for
the first time on appeal should fail almost automatically.").
We would usually say no more on a waived issue, but there
is one additional important point to make because, had Santiago
not waived her argument, our consideration of its merits would
have been stymied by Santiago's failure to provide us with a
certified translation of Law No. 107-2020. We explain. Santiago
alleges in her complaint that her initial contract started on
August 1, 2020, and she argues that, with Law No. 107-2020 coming
into effect on August 14 of that year, Act 81 governed her initial
hire (as well as how she -- in her mind -- definitely met the
requirements under Act 81, including pursuant to the federal
regulations governing Head Start). There is, however, no evidence
in the record to prove her precise hire date. All we know is she
submitted her application on the deadline in March and her hiring
process completed sometime in August. This means that each law
- 24 - may have been in effect over the course of her hiring process and
Law No. 107-2020 was certainly in place when she and the
Municipality signed her 2021 employment contract. Add to this
that even if we did know with certainty that one law was in place
over the other, Santiago has not told us how Act 81 substantively
differs from Law No. 107-2020 (if at all in a meaningful way when
both laws seem premised on the merit principle -- Santiago herself
acknowledges the merit principle as the basis for Act 81), or how
application of her preferred law would change the outcome. All
this to say that any consideration of Santiago's arguments on the
merits would need to include an examination of both laws to suss
out the differences between the two, but we would be stuck at the
gate because the new law has yet to receive an official translation
into English, and Santiago did not provide a certified translation
for our review. See 1st Cir. L.R. 30(e).
With that, we move on to Santiago's political
discrimination claim.
First Amendment Political Discrimination Claim10
Santiago challenges the district court's conclusion that
she had not shown political animus drove the Municipality's
There is no doubt that a former employee can have a valid 10
claim for political discrimination under the First Amendment even when there is no valid or meritorious claim for a due process violation. See Acevedo-Diaz,
1 F.3d at 65n.1 ("While their lack of a property interest in their employment positions generally precludes due process claims for a politically discriminatory
- 25 - decision to terminate her employment. As with Santiago's due
process claim, it will be helpful to start our discussion of her
political discrimination claim by setting forth some broad legal
principles. "Government officials are forbidden by the First
Amendment from taking adverse action against public employees on
the basis of political affiliation, unless political loyalty is an
appropriate requirement of the employment." Ocasio-Hernández v.
Fortuño-Burset,
640 F.3d 1, 13(1st Cir. 2011) (citing Rutan v.
Republican Party of Ill.,
497 U.S. 62, 75-76(1990)). A plaintiff
claiming political discrimination establishes a prima face case by
proving four elements: "(1) that the plaintiff and defendant have
opposing political affiliations, (2) that the defendant is aware
of the plaintiff's affiliation, (3) that an adverse employment
action occurred, and (4) that political affiliation was a
substantial or motivating factor for the adverse employment
action."
Id.(quoting Lamboy-Ortiz v. Ortiz-Vélez,
630 F.3d 228, 239(1st Cir. 2010)); Hatfield-Bermudez v. Aldanondo-Rivera,
496 F.3d 51, 61(1st Cir. 2007) (referring to these four elements as
the prima facie case); Peguero-Moronta v. Santiago,
464 F.3d 29,
48 (1st Cir. 2006). "Proving that political affiliation was a
substantial or motivating factor in an adverse employment decision
requires more than 'merely juxtaposing a protected characteristic—
dismissal, First Amendment discrimination claims are not precluded."); see also Borges Colón, 438 F.3d at 11.
- 26 - someone else's politics—with the fact that the plaintiff was
treated unfairly.'" Peguero-Moronta, 464 F.3d at 45 (cleaned up)
(quoting Padilla–García v. Guillermo Rodríguez,
212 F.3d 69, 74
(1st Cir. 2000)). "The Supreme Court has cautioned that the mere
fact that an adverse action was taken after an employee exercises
First Amendment rights is not enough by itself to establish a prima
facie case." Id. (citing Bd. of Cty. Comm'rs v. Umbehr,
518 U.S. 668, 684-85(1996)).
As the district court recognized, the first three
elements are not in dispute here: Santiago supported the PDP;
Mayor Pérez, who is a member of the NPP, knew she supported the
PDP; and she was terminated before the end of her employment
contract. The district court concluded Santiago hadn't provided
enough evidence to show the fourth element -- that "political
discriminatory animus was at the center of the decision to
terminate her employment" -- and therefore had not shown likelihood
of success on a prima facie claim of political discrimination.
On appeal, Santiago asserts she did provide "specific
facts necessary" to show beyond mere speculation that her political
affiliation with the PDP was a substantial or motivating factor
for her termination, meaning that political discriminatory animus
drove the decision to end her employment with Head Start and the
district court abused its discretion by concluding otherwise. As
support from the record, she highlights Pérez's contact with her
- 27 - prior to the election (the missed phone call, the text, and phone
conversation), Pérez's withdrawal (prior to her termination) of
her authorization to sign official documents on behalf of the Head
Start Director who was out on sick leave, Pérez announcing his
longtime friend and mentor as "in charge" of Head Start in a
volunteer capacity and who immediately took actions to usurp her
authority as Deputy Director, Pérez's decision to terminate her
employment without -- Santiago says -- the required approval of a
legally formed Governing Board or the Parents Committee,11 and
Pérez's comments during a radio interview given a few weeks after
11Some additional details from the record are needed here to fully articulate what Santiago has written in her briefing to us on this point. Santiago contends (as she did below) that the Governing Board was not properly formed at the time of the February 11 meeting when Mayor Pérez sought the Board's permission to terminate her contract and dismiss her because the new members of the Board were not "duly appointed" pursuant to "Ordinance 29." At the hearing, Mayor Pérez testified he had appointed new members to the Governing Board after he took office and that two of these members were municipal legislators and two of these members were "from the community" and current public sector employees. Mayor Pérez acknowledged that Ordinance 29 of the Municipality of Utuado specified that the Head Start Governing Board members had to all also be municipal legislators but that his administration was in the process of amending this Ordinance because the soon-to-be updated Municipal Code (see note 9, supra) allowed changes to the Board's composition and he "decided to constitute the Board according to the . . . new Municipal Code." Santiago also argued that the Parents Committee had to approve her dismissal but that Pérez admitted he had not sought their approval. Santiago does not provide any regulations stating this requirement, and we note that Rosado testified that the Parents Committee merely needs to be notified of any personnel changes (and they were by the cc to them on Santiago's letter of termination). In Santiago's eyes, this all provides circumstantial evidence of discriminatory animus on Pérez's part.
- 28 - her dismissal."12 Santiago does not, however, attempt to or
actually connect the dots to tie any of these just recited factual
allegations to our case law in order to support her argument that
this was sufficient to show a likelihood of success on the merits
that her political support for the PDP was a substantial factor in
Pérez's decision to terminate her employment.13
The Municipality counters that Santiago's appellate
arguments reflect her disagreement with the district court's view
of the evidence but that the district court's analysis was correct,
lacking clear error or any abuse of discretion. The Municipality
argues (and Santiago acknowledges) that the short span of time
between Pérez taking office and Santiago's termination is not
12A little additional context will be helpful here too. In the March 10 radio interview mentioned briefly supra, the radio host asked Pérez to respond to criticism in a press release from another political party's legislator about Pérez's response to the Head Start crisis with the managing office (including bringing Mena into the fold) and the way in which Pérez was changing the composition of and selection process for the members of the Program's Governing Board. Part of Pérez's response included a comment that the legislator who had issued the accusatory press release was actually a supporter of the former mayor and that she and his party "were carrying [Irizarry's] briefcase. [He] is no longer there, and they've to get their payback." Pérez also discussed Santiago's dismissal during this interview and because he did she urges that this statement is evidence that political affiliation was a substantial factor in her termination.
13 The single case she cites amidst her discussion of the facts she believes are in her favor is focused on whether a deviation from the usual termination procedure was evidence of pretext for a retaliation claim, not a political discrimination claim as we have before us. See Kouvchinov v. Parametric Tech. Corp.,
537 F.3d 62, 68-69(1st Cir. 2008).
- 29 - sufficient on its own, and it refutes each of the pieces of
evidence Santiago argued should have tipped her across the line
from speculative to indicative of likelihood of success on the
merits. For example, it says that the text messages sent during
the campaign season as well as the phone conversation did not show
his political animus but instead, his disdain for the acts of
electoral fraud he believed had occurred. The radio interview,
says the Municipality, did not show political animus towards
Santiago but frustration at the way the previous administration
had run Head Start. Finally, the Municipality asserts that
Santiago was not terminated as a result of political animus but
because she lacked the minimum requirements for the Deputy Director
position as well as the knowledge required to execute the
responsibilities of the position. As for Santiago's argument that
the Head Start Board was not properly constituted at the time it
approved her proposed termination or that the Parents Committee
was deprived of an opportunity to weigh in, the Municipality points
out that Santiago does not provide any indication that the
approvals from these bodies were a standard operating procedure or
practice at Head Start such that this alleged deviation could be
evidence of animus.14
We note again that Santiago did not avail herself of the 14
opportunity to file a reply brief to counter any of these contentions.
- 30 - In our view, the record does not show that the district
court clearly erred in its interpretation of the evidence before
it or abused its discretion by concluding that Santiago's
affiliation with or support of the PDP was not a substantial factor
in Pérez's decision to terminate her contract mid-term. The only
politically-inflected exchanges between Pérez and Santiago, as far
as the record reveals, are Pérez's text messages to Santiago asking
for her support and warning her to avoid any shenanigans, and his
telephone conversation with her about election irregularities.
But these events occurred months before he took office, and nothing
about his conduct after becoming mayor shows that his actions
towards Santiago were motivated by political ill-will rather than
appropriate managerial considerations.
In the first weeks in his role as mayor, he discovered
Head Start was in quite a bad spot vis-à-vis the managing office
in New York and the events described and documented on the record
reveal the quick steps he tried to take to get to the bottom of
the problem so he could stop the rescission of the grant funds.
That the Head Start Director needed immediate medical leave did
not help Pérez's efforts but he did follow Quiñones-Figueroa's
suggestion and appointed Santiago Acting Director before
discovering, soon thereafter, that it appeared she had neither the
knowledge nor the access to required databases to help pull the
Program out of its troubles. While Pérez, through Mena, rescinded
- 31 - Santiago's authority to execute official, Program-related
documents before notifying her of her dismissal, the record shows
that the memo announcing the change of signatory authority occurred
after Pérez received approval to terminate her contract,
indicating a logical managerial decision even if not tactfully
executed.
To be sure, Santiago's termination letter provided no
explanation for her dismissal, but such lack of notice is not alone
dispositive. To show a likelihood of success on this "substantial
or motivating factor" element, she needs more than a "[m]ere[]
juxtaposi[tion]" of her support for the PDP with any arguably
unfair treatment she experienced in the lead up to and including
her termination. Peguero-Moronta, 464 F.3d at 45 (first alteration
in original). Santiago acknowledges this requirement in her brief
to us. But she has not provided any evidence such as proof of a
highly charged political office atmosphere or evidence of comments
by Pérez or any colleagues at Head Start that the administration
wanted to focus on dismissing or laying off employees who were
known supporters of the PDP. See Borges Colón, 438 F.3d at 11,
18, 22 (highlighting evidence that plaintiff's replacement was
from a different political party, the mayor made comments about
"get[ting] rid" of opposing party supporters who were employed in
the office, and refutation of the stated reason for non-renewal of
plaintiff's employment contract to affirm a jury verdict on a
- 32 - political discrimination First Amendment claim). Moreover, she
makes no argument that the Head Start employees laid off after
Santiago's termination were PDP supporters.
The final problem is that, as we mentioned above,
Santiago hasn't pointed us to any cases indicating that, based on
our law governing political discrimination claims, the district
court made the wrong call about her likelihood of success on the
merits. See United States v. De La Cruz,
514 F.3d 121, 133(1st
Cir. 2008) (rejecting an appellant's argument in part for not
citing to any cases which specifically supported the articulated
appellate argument and for only citing cases which supported
general propositions relevant to the constitutional issue at
hand). In all, the district court's conclusion that Santiago's
support for the PDP was not a substantial factor in the termination
decision is well-supported by the record and Santiago has not
provided any reasons based on the record or case law to indicate
that the district court abused its substantial discretion.15
15 Santiago also spills some ink arguing that the district judge did not conduct a proper de novo review of the motion for preliminary injunction because the judge incorrectly characterized Santiago's objection to the R&R as a "rehash" of her motion. As Santiago herself cites, Federal Rule of Civil Procedure 72(b) and
28 U.S.C. § 636(b)(1) govern the district judge's review of a "properly objected to" "magistrate judge[] disposition[,]" but the rule and statute only instruct that the district judge's review is de novo and that the judge has a range of options, including to "accept, reject, or modify the recommended disposition; receive further evidence; or return the matter to the magistrate judge with instructions." The Rule does not instruct district judges
- 33 - Conclusion
Given our conclusions above about Santiago's challenges
to the district court's conclusions about the likelihood of success
on the merits of her two claims, we need not explore the other
factors required to secure a preliminary injunction. The denial
of Santiago's motion for preliminary injunction is affirmed. Each
side to bear their own costs.
that they must explain their reasoning at all or in any degree of detail. Here, the district judge stated that, after considering Santiago's objections and reviewing the record de novo, he concluded the R&R was "well-grounded in both fact and law" and adopted the R&R in its entirety for the reasons stated within the R&R. As with Santiago's arguments before us on her two constitutional claims, her objection to the R&R is devoid of any attempt to demonstrate the R&R reflected the application of the wrong laws governing the two claims or that, pursuant to our governing case law, the R&R drew the incorrect legal conclusions regarding her likelihood of success on the merits of her claims. Beyond general statements of law, the objection simply argued the facts. After reviewing the record and considering the case law, we conclude there is no indication that the district judge misread the record or misapplied the applicable law.
- 34 -
Reference
- Cited By
- 5 cases
- Status
- Published